INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM

GAP Online 3.0 Grantee User Manual

INTERIM DRAFT

February 2019

U.S. Environmental Protection Agency Office of International and Tribal Affairs American Indian Environmental Office

GAP Online 3.0 (GO3) Grantee User Manual

TABLE OF CONTENTS

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Contents 1 Introduction ..................................................................................................................................... 3

................................................................................................................................ 4

........................................................................................................................................ 5

....................................................................................................................................... 6

....................................................... 6

................................................................................................................ 7

2 GO3 User Roles

3 Definitions

4 Logging On

4.1 Grantee’s First Time Access- Requesting an Account:

4.2 GO3 User Access:

4.3 Reserved for Project Officer Tasks ...................................................................................... 8

....................................................................................................................................... 8

........................................................................................................ 8

.................................................................................................... 9

..................................................................................................... 9

................................................................................................. 10

5 Work Plans

5.1 Creating a Work Plan

5.2 Work Plan Attachments

5.2.1 Adding Attachments

5.2.2 Deleting Attachments

5.2.3 Downloading Attachments ......................................................................................... 11

.............................................................................................. 11

........................................................................................ 11

..................................................................................... 13

.................................................................................................... 15

......................................................................................................... 16

5.2.4 Modifying Attachments

5.3 Adding Work Plan Components

5.4 Adding Work Plan Commitments

5.5 Submitting a Work Plan

5.6 Printing a Work Plan

5.7 Reserved for Project Officer Tasks .................................................................................... 16

................................................................................................... 16

............................................................................................................................ 18

............................................................................................ 18

..................................................................................... 21

................................................................................................. 21

5.8 Negotiating a Work Plan

6 Progress Reports

6.1 Completing a Progress Report

6.2 Reserved for Project Officer Tasks

7 Reserved for Project Officer Tasks

8 Providing User Feedback ............................................................................................................... 21

................................................................................................................................ 23

9 ATTACHMENT

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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM GAP Online 3.0 (GO3) User Manual

1 Introduction

This user manual provides GAP Online 3.0 (GO3) instructions for EPA personnel and prospective financial assistance recipients under the Indian Environmental General Assistance Program (GAP).

GO3 is a national system used by EPA and GAP grantees to:

• Develop and submit proposed work plans for EPA review; • Review/comment/approve work plan by EPA employees, documenting pre-award work plan

development negotiations; • Submit recipient progress reports; • Review and comment on progress reports by EPA employees; • Submission of final reports by recipients; • Review/comment/approve final reports by EPA employees; and • Customize searches and reports about some aspects of GAP funded activities.

Each of the above features is archived digitally, providing a record of key work plan interactions between EPA and the recipient.

GAP Online is the only federal assistance agreement program for tribes that attempts to manage the entire work plan process digitally.

AIEO has made a number of highly visible commitments to establish the GAP Online system, including to OIG, OMB, and Congress (through the annual budget formulation process).

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2 GO3 User Roles Non-EPA Users:

Grantees: Grantees use GO3 to create work plans and submit them to an assigned Project Officer (PO) for review. Once a work plan is accepted by the PO, a Grantee can use GO3 to submit progress reports, update commitment status, and respond to PO comments on submitted progress reports if additional information or work is needed. In the event the Grantee forgets their User ID or password, they submit a request to the PO for assistance. NOTE: Applying for a grant or cooperative agreement does not guarantee the EPA will make an award.

EPA Users:

Project Officer (PO): The PO in the GO3 system reviews, comments, accepts, and administers GAP work plans submitted by a Grantee from their Region. When reviewing submitted work plans, the PO may comment on the work plan, its components, and the work commitments under each component. If the work plan requires revisions or responses, the PO returns the work plan with comments or requests to the Grantee. Once the work plan meets all EPA requirements, the PO sets the progress reporting frequency and accepts the work plan. After a PO sets a negotiated work plan status to “Accepted,” the Grantee may begin to generate progress reports for the accepted work plan. In reviewing a Grantees submitted progress report, the PO follows a process similar to the one used in reviewing draft work plan components and commitments – the PO may comment on and then accept or reject submitted progress reports. Finally, The PO assists Grantees with password resets, forgotten User IDs, or other technical issues.

Regional Power User (RPU): RPUs have all the capabilities of a PO along with some additional administrative roles for all GO3 users within their Region. The RPU assists with User ID and password reset requests from Grantees or POs within their Region. They also assign primary POs and alternate POs for all Grantees in their Region. RPUs have access to read user feedback submitted in the GO3 system.

Headquarters (HQ) Users: HQ Users have read only access within GO3. Their capabilities are limited to viewing draft and accepted work plans and progress reports generated by Grantees and POs from all regions. HQ Users can also see comments attached during the approval process for both work plans and progress reports.

GO3 Administrators (Super User): GO3 Administrators have permissions to access all work plan and progress report records, add/remove all users, and assign/change user permissions and roles for all users. GO3 Administrators do not have the ability to make modifications to work plans or progress reports, nor can they make comments on them. They can also assist GO3 Users with User ID/password resets or account deactivation. GO3 Administrators update or modify indicators, email templates, and role descriptions. GO3 Administrators also have access to user feedback submitted in the GO3 system.

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3 Definitions Component: A negotiated set or group of work plan commitments established in the grant agreement. A work plan may have one or more work plan components.

Commitment: The outputs and outcomes associated with each work plan component, as established in the grant agreement.

Intermediate Outcome: The environmental result, effect, or consequence that will occur from carrying out an environmental program or activity that is related to an environmental or programmatic goal or objective. Outcomes must be quantitative, and they may not necessarily be achievable during a grant funding period. Typically, these results could occur within 3-5 years of the grant award.

Long-term Outcome: The environmental result, effect, or consequence that will occur from carrying out an environmental program or activity that is related to an environmental or programmatic goal or objective. Outcomes must be quantitative, and they may not necessarily be achievable during a grant funding period. Typically, these results could occur within 5-10 years of the grant award, or longer.

Output: An environmental activity or effort and associated work products related to an environmental goal or objective that will be produced or provided over a period of time or by a specified date. Outputs may be quantitative or qualitative but must be measurable during a grant funding period. Outputs could be referred to as short-term outcomes since they are completed during a grant.

Work Plan: The document which identifies how and when the applicant will use funds from environmental program grants and is the basis for management and evaluation of performance under the grant agreement to produce specific outputs and outcomes (see 40 CFR Part 35.507). The work plan must be consistent with applicable federal statutes; regulations; circulars; executive orders; and EPA delegations, approvals, or authorizations.

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4 Logging On

4.1 Grantee’s First Time Access- Requesting an Account:

If you are a Grantee accessing GO3 for the first time, click on the Request Account link from the main GO3 system URL (https://ofmext.epa.gov/apex/gap/f?p=101)

Grantees entering the GO3 application for the first time will need to “Request Account”.

After clicking on the Request Account link, GO3 directs you to the Request External User Account form to collect basic account information (Grantee account holder’s email, name, EPA region, and affiliation (tribe or intertribal consortia).

After completing the Request External User Account form, click Send Request. An EPA employee will review your request. If your account request is approved, you receive an email from the GO3 online platform with a temporary Account Code and link to establish a password.

https://ofmext.epa.gov/apex/gap/f?p=101

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Enter the temporary Account Code you received via email and then enter your own custom password into the Password box, and again in the Re-Enter Password box. Passwords must be 12 characters long, include at least one digit (1-9), one symbol (~, !, @, #, $, %, +, , /, ?), one upper-case letter, and one lower-case letter. When finished, click Save Password.

You may now return to the main GO3 system URL (https://ofmext.epa.gov/apex/gap/f?p=101) to log in with your username (email) and your custom password.

4.2 GO3 User Access:

To log on to the GAP Online system, enter your User ID and associated password and click Sign In. This brings up a warning message - click Accept to accept stated terms and navigate to the GAP Online 3.0 online platform homepage.

https://ofmext.epa.gov/apex/gap/f?p=101

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NOTE: If you have forgotten your password, for non-EPA Users, click on the Forgot Password? link and follow the prompts. EPA Users need to contact their local computer support.

Grantees who have forgotten their password

will need to select “Forgot Password”.

4.3 Reserved for Project Officer Tasks

5 Work Plans

5.1 Creating a Work Plan

Grantees create a work plan after logging into the GO3 online platform by clicking on the Workplans navigation tab. This takes the Grantee to the Work Plans page, which displays all Grantee work plans, if any have been created.

To create a work plan, click on Add New Work Plan.

Grantees can create a new work plan by clicking

“Add New Work Plan”.

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A window opens where Grantees enter the planned project start and end dates and a work plan description. Once this information is entered, click the Create Work Plan button to generate the new work plan and navigate to the work plan management page.

On the work plan management page, Grantees add Components and Commitments, assign projected commitment completion dates, include budget information at the Component and/or Commitment levels, designate which Commitments will produce deliverables, and add attachments as needed. When Grantees consider the work plan complete, they click Submit Work Plan and the GO3 system will notify EPA that it is ready for review.

5.2 Work Plan Attachments

5.2.1 Adding Attachments

To add an attachment to the whole work plan (as opposed to adding an attachment associated with a particular commitment), click Add Attachment.

Grantees can add attachments by clicking “Add Attachment”.

This opens a dialog window where you attach a file, select the file type, and provide a name and description. A maximum of ten (10) attachments are permitted at the full work plan level –

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additional attachments can be uploaded as deliverables at the individual work plan Commitment levels.

5.2.2 Deleting Attachments

After attachments have been added, they may be removed by clicking the red X icon to the right of the attachment.

Grantees can remove attachments by clicking

on the red “X”.

You will then receive a pop-up to confirm that you want to delete the file. Click Delete (green oval below) to continue or Cancel (red oval below) to leave the file attached.

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5.2.3 Downloading Attachments

To download an attachment, click on its name in the list of attachments and follow the prompts.

To download all attachments, simply click the Download All Attachments button to download a zipped copy of all attachments associated with the Work Plan.

Grantees can download all attachment by clicking

“Download All Attachments”.

5.2.4 Modifying Attachments

To make modifications to the name, type, or description of the attachment, click on the grey pencil icon to the right of the attachment.

Grantees can modify the attachment name and

attributes by clicking on the gray pencil.

Note: The maximum number of files that can be added is 10. The maximum file size for a single attachment is limited to 10 MB. The maximum size for all attachments is 25 MB.

Helpful Hint: When needing to add multiple documents that are the same type (i.e. tribal resolutions agreeing to a consortia work plan), combine them into a single Adobe PDF document or zip them into a single file.

5.3 Adding Work Plan Components

To add a work plan Component, click Add Component on the right side of the Components and Commitments region.

Grantees can add a new Component by clicking

“Add Component”.

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When the Component box (shown below) pops up, add a Component Title, Component Description, expected Long-Term Outcomes, expected Intermediate Outcomes, as well as an Estimated Cost of commitments within the Component in the new dialogue window. Only the Title, Description, and Long-Term Outcomes are required to create a Component – the ID will be entered automatically. The Component Title is limited to 40 characters and should be short (i.e. Draft Watershed Assessment). A longer description of the Component activities can be entered in the Description box.

Once completed, either click on Save and New to save the Component and create another Component immediately, or click Save to save the Component and close the dialog window (more components can be added later). Once created, edit a Component by clicking on it to re-open the edit window.

Grantees can save a component by clicking

“Save” or “Save and New”

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If a Grantee wants to begin entering Commitments for the Component they just completed entering information, they can press the Add Commitment button. See the “Adding Work Plan Commitments” Section for specific information.

Grantees can save a component and begin creating

commitments for it by clicking “Add Commitment”

5.4 Adding Work Plan Commitments

To add a Commitment to a work plan Component, first create the Component following the steps described above, and then click on Add Commitment. This only works after a Component has been added to the work plan.

Grantees can add a new Commitment by clicking

“Add Commitment”.

Select the Component to which this Commitment will be associated. All Components that have been created will be displayed in the dropdown list.

Grantees first selects the Component to which this Commitment describes.

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If the selected Component has a media category assigned to it, then the Commitment Media Filter is limited to that Component’s media category or the generic Core program category.

Grantee then selects the Media Filter.

Assigning media filters limits indicator choices from the Indicator drop down menu. Select the appropriate indicator and describe the work accomplished in the Commitment Description box. Complete other fields as necessary. A Commitment cannot be saved unless it has a text within the “Commitment Description” box and the “Outputs and Deliverables” field.

Grantees then selects the specific indicator on which

they will work.

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Once the Commitment is complete, click Save and Add to save the commitment and add a new Commitment or click Save and Close to save the Commitment and close the Add Commitment dialog box (more Commitments can be added later). Once created, a Commitment can be edited by clicking on it to re-open the edit Commitment window.

If a Grantee intends to submit a document as a deliverable, select “Yes” under the “Deliverable

Planned”.

If a grantee intends to submit a document, photo or other item to demonstrate completion of the specific commitment, click Yes below Deliverable Planned. This becomes important when the grantee is completing their progress report – if “Yes” is selected, an attachment will have to be included for the commitment to be marked “Complete”. If the Commitment is something like “Hire Environmental Staff”, click No below Deliverable Planned.

5.5 Submitting a Work Plan

Once a work plan has been drafted and contains at least one Component and one Commitment, submit it to the EPA by clicking Submit Work Plan. After submission, the GO3 online platform changes the work plan status from Draft to Review and notifies the Grantee’s assigned Project Officer by email. While in this state, a Grantee can return the work plan status to Draft, allowing them to make additional changes and resubmit.

Grantees can submit a work plan by clicking “Submit Work Plan”.

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When a project officer opens a work plan in the Submitted status, the GO3 online platform changes the work plan status to Review and Grantees are no longer able to edit the work plan until a project officer completes the review. When the EPA project officer completes the review, the work plan is returned to the Grantee and the GO3 online platform changes the work plan status to Commented.

Work plans go back and forth between the Grantee and their assigned EPA Project Officer in the GO3 online platform until the PO determines that the work plan and all details can be accepted. At that point, the EPA Project Officer formally accepts the work plan and the GO3 online platform changes the work plan status to Accepted.

Note: Only GO3 System Administrators can change a work plan’s status from Accepted to Commented, so the work plan cannot be modified without GO3 System Administrator intervention.

5.6 Printing a Work Plan

At any time in the work plan drafting/negotiating process, the grantee can print a PDF copy of the work plan by clicking Print Work Plan. This will enable them to download a copy for their records along the way, if they desire.

Grantees can print a work plan by clicking

“Print Work Plan”.

5.7 Reserved for Project Officer Tasks

5.8 Negotiating a Work Plan

After a Project Officer (PO) returns a submitted work plan to a Grantee with comments, the GO3 online platform sets the work plan status to Commented. A Grantee will see the Work Plan with Pending Comments when they log into GO3.

The Grantee must address each comment, make any necessary changes and return the work plan to the PO for final approval/acceptance. There are two methods to view and respond to these comments.

The first is to expand the comments section, located at the top left of the page when viewing a work plan. The number located to the right of “Comments” is the number of comments that still require

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an action to be taken on them. All comments that still require a response are displayed in bold. Click the Reply link located to the far right of the comments list (see green arrow below). This opens a dialog box for the Grantee to respond.

Pressing the arrow to the left of “Comment” will expand the comment section so they can all be seen. The

number in parenthesis is the number of comments to address.

The second method to view and respond to comments is for the Grantee to click Comments on the right side of the work plan view or the Components and Commitments views.

Grantees can click “Comments” to view comments for that specific

Component or Commitment.

Once all comments have been addressed and any necessary changes have been made, Re-submit the work plan using the Submit Work Plan button. The GO3 online platform changes the work plan status from Commented to Negotiated.

Grantees click “Submit Work Plan after all comments/changes have

been completed.

Unlike the original submission, there is no option for the Grantee to pull back a work plan from Negotiated status.

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Once the Grantee completes the required changes and re-submits the work plan, the PO will receive the negotiated work plan in their GO3 inbox as shown below. The PO can then make additional comments and requests if necessary and return it or accept the work plan as final.

6 Progress Reports

6.1 Completing a Progress Report

Once a work plan has been accepted, when a Grantee logs into GO3, the Home page will show the Accepted work plans, as shown below. Also, for tasks that are in current work plans that are past due (estimated completion date is past), they will be shown as below.

Commitments with Estimated Completion Dates that are past will

be shown here.

At this time, the Grantee can begin preparing progress reports in GO3 as the work proceeds. The Grantee can update progress at any time during the reporting period before finally submitting the information for the EPA to review. To record work plan progress, click Go To Progress Reporting to open the Progress Reporting module of GO3.

Grantees click “Go To Progress Reporting” to begin entering accomplishments.

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Once the Progress Reporting module has opened, the Grantee clicks on the Update Progress button next to the commitment where work has been started or completed (see below).

Grantees click “Update Progress” to begin entering accomplishments for

specific tasks.

A popup window will open for the Grantee to enter the accomplishments for this Commitment. Photos or reports can be attached using the Add Attachment button. Be sure to include any information in the Recipient Comments box to communicate to the EPA any variance from the agreed Work Plan (such as a change in an expected completion date or minor cost change). When completed, press the Save button.

Grantees click “Add Attachment” to include other documents with the

progress report.

When all information has been entered, the Grantees click “Save”.

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When all work on a Commitment is finished, open the Update Progress and set the Status to Completed and enter the actual date of completion. Be sure to provide Commitment specific detail in the Work accomplished field. Enter all other commentary to the Recipient Comments field – anything to aid the EPA in approving the work done. Attachments can also be added at this point. Be sure to save your progress after you enter the needed information.

Once the work is completed, change the Status to “Completed” and enter

the Actual Completion Date.

When all information has been entered, the Grantees

click “Save”.

Important: If a Commitment was designated as requiring a deliverable when the work plan was initially prepared, it cannot be marked complete until an attachment has been uploaded.

Once all progress has been updated, click Submit Progress Report to send the completed progress report to the EPA for review (see below). Progress reports are to be submited within 30-days of the end of the reporting period. The final report must be submitted within 90-days of the end of the project period.

Once all progress has been reported, press “Submit Progress Report”.

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6.2 Reserved for Project Officer Tasks

7 Reserved for Project Officer Tasks

8 Providing User Feedback

AIEO has the constant goal of improving the GO3 online experience. A Feedback button has been incorporated into GO3. Please submit any feedback that we can use to optimize the system and make the process more efficient and simple for you to use.

Press the Feedback button to get the Feedback popup window. After entering the Subject of the feedback, Then, press the Type dropdown arrow to select the type of Feedback that you will be providing. Highlight and then select the Feedback type.

Click into the Feedback description space (inside the red box) and type in your observation, suggestion, question, etc. Then press the Submit button.

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After submitting your feedback, you receive the following confirmation.

You will not receive any other notification unless AIEO needs some clarifying questions answered. All feedback submitted is reviewed within 2 weeks and a decision made within 30 days as to whether to implement the suggestion(s), either right away (for bugs), as part of a future update, or not to implement the suggestion(s).

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9 ATTACHMENT 40 C.F.R. Part 35, Subpart B, §35.507 Work plans.

(a) Bases for negotiating work plans. The work plan is negotiated between the applicant and the Regional Administrator and reflects consideration of national, regional, and Tribal environmental and programmatic needs and priorities.

(1) Negotiation considerations. In negotiating the work plan, the Regional Administrator and applicant will consider such factors as national program guidance; any regional supplemental guidance; goals, objectives, and priorities proposed by the applicant; other jointly identified needs or priorities; and the planning target.

(2) National program guidance. If an applicant proposes a work plan that differs significantly from the goals and objectives, priorities, or performance measures in the national program guidance associated with the proposed work plan activities, the Regional Administrator must consult with the appropriate National Program Manager before agreeing to the work plan.

(3) Use of existing guidance. An applicant should base the grant application on the national program guidance in place at the time the application is being prepared.

(b) Work plan requirements

(1) The work plan is the basis for the management and evaluation of performance under the grant agreement.

(2) An approvable work plan must specify:

(i) The work plan components to be funded under the grant;

(ii) The estimated work years and estimated funding amounts for each work plan component;

(iii) The work plan commitments for each work plan component, and a time frame for their accomplishment;

(iv) A performance evaluation process and reporting schedule in accordance with §35.515 of this subpart; and

(v) The roles and responsibilities of the recipient and EPA in carrying out the work plan commitments.

(3) The work plan must be consistent with applicable federal statutes; regulations; circulars; executive orders; and delegations, approvals, or authorizations.

(c) Tribal Environmental Agreement as work plan. An applicant may use a Tribal Environmental Agreement or a portion of the Tribal Environmental Agreement as the work plan or part of the work plan for an environmental program grant if the portion of the Tribal Environmental Agreement that is to serve as the grant work plan:

(1) Is clearly identified as the grant work plan and distinguished from other portions of the Tribal Environmental Agreement; and

(2) Meets the requirements in §35.507(b).

1 Introduction2 GO3 User Roles3 Definitions4 Logging On4.1 Grantee’s First Time Access- Requesting an Account:4.2 GO3 User Access:4.3 Reserved for Project Officer Tasks

5 Work Plans5.1 Creating a Work Plan5.2 Work Plan Attachments5.2.1 Adding Attachments5.2.2 Deleting Attachments5.2.3 Downloading Attachments5.2.4 Modifying Attachments

5.3 Adding Work Plan Components5.4 Adding Work Plan Commitments5.5 Submitting a Work Plan5.6 Printing a Work Plan5.7 Reserved for Project Officer Tasks5.8 Negotiating a Work Plan

6 Progress Reports6.1 Completing a Progress Report6.2 Reserved for Project Officer Tasks

7 Reserved for Project Officer Tasks8 Providing User Feedback9 ATTACHMENT